Rule filings

Adopting on a Permanent Basis the Pilot Rules for Market-Wide Circuit Breakers in Rule 11.280

Amending Rule 2.160 & adopting Rule 2.154 to implement parts of FINRA's Continuing Education Program Transformation

Modifying and Expanding the Package of Products and Services Provided to Companies

Amending Rule 11.280 to extend the MWCB pilot period until April 18, 2022

Observance of Juneteenth National Independence Day

Amending Rule 11.280 to extend the MWCB pilot period until March 18, 2022

Removal of Order Audit Trail System (OATS) Requirements--Rule 11.420

Amending the Definition of Independence under Rule 14.405(a)(2) and Supplementary Material .01

Amended: Temporary reduction in Initial Listing Fees

Amended: Providing for promotional activities and listing ceremonies

Compliance with the Long-Term Policies pursuant to Rule 14.425

Amending CAT Compliance Rule to be consistent with the Allocation Exemption

Amending Rule 11.380 to offer an optional net notional exposure check

Continue temporarily suspending the application of the Order Price Collar provisions

Changing Rule 11.280 to extend the MWCB pilot period

Amending Rule 11.410(a) to announce source of data feeds for MIAX PEARL

Extending suspension of Rule 11.190(f)(1) Order Price Collar provisions

Temporarily suspending the application of the order price collars in Rule 11.190(f)(1)

Amending rule 11.410(a) to specify market data source for MEMX

Amending the CAT Compliance Rule definition of FDID

Adding CAT Compliance Rules to the LTSE MRVP

Addressing disaster recovery testing in 2020

Amending the Consolidated Audit Trail compliance rule

Amending how opening process for non-primary securities will operate

Resumption of trading following Level 3 market-wide circuit breaker

Addressing securities traded on a UTP basis, including ETP's

Amending LTSE's fingerprinting rule

Establishing an annual membership fee

Establishing listing fees

Clarifying the meaning of terms for providing for dually listed securities

Adopting procedures for member applicants that are already FINRA members

Establishing first features of the Very Simple Market

Amending market-wide circuit breaker and limit up limit down rules

Adopting Long-Term Policies